SCHEDULE 2 Appendix 14. Data Retention. Table of Contents. 1 Overview Electronic Records Physical Records... 16

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1 Schedule 2: Appendix 14 Data Redacted Version SCHEDULE 2 Appendix 14 Data Table of Contents 1 Overview Electronic Records Physical Records In Confidence - Page 1 of 19

2 Schedule 2: Appendix 14 Data Redacted Version 1 Overview This document sets out the retention periods for Data processed by the Service Provider for the Congestion Charging Scheme and other Schemes. This is primarily focussed on Data that refers to individuals but also includes types of Data that do not comprise of Personal Data It is important to note that retention periods set out in this document reflect current requirements which may be subject to change In the event of a dispute, Data must be maintained for as long as necessary to support the dispute process. A dispute may include, but not be limited to: Representation; Appeal; Customer Complaint; a complaint to the Ombudsman; or any other court or legal proceedings. 2 Electronic Records 2.1 Images #1 Image of capture event Charge 48 hours. All Images of Vehicles shall be deleted after forty eight (48) hours unless subject to other retention requirements detailed in this appendix. - In Confidence - Page 2 of 19

3 Schedule 2: Appendix 14 Data Redacted Version #2 Image of capture event for Vehicles registered for Account payment 24 hours following payment for Post Pay. Images that have been matched to an active Account shall be deleted within twenty four (2)4 hours of payment being made and the period for the Customer being able to dispute the Charge. #3 Image of capture event - Exempt #4 Image of capture event Contraventions #5 VoSI Images and associated audit Data 24 hours following the statement date plus dispute representatio n period sixty (60) days for other Accounts. If there is a disputed charge then all Images for the statement or Charge being questioned shall be retained until the dispute has been closed. For Post Pay Accounts the Customer will be deemed to have accepted a Charge if he/she makes payment. For other Accounts Customers will be deemed to have accepted the charge once the period for raising any representation following issue of a statement has expired. 24 hours. Images that have been matched to a VRM identified as Exempt from all Schemes in force at the time and point of capture. 13 Months. Images retained to support a PCN shall be deleted thirteen (13) Months after closure of the PCN (e.g. Appeal, cancellation and TfL write-off). 1 Month after VRM end date for VoSI entry. VoSI Images, where there is no associated Penalty Charge, shall be deleted following one (1) Month after the end date of VoSI entry for a VRM. The maximum period for VoSI monitoring is six (6) Months. shall be for a maximum of seven (7) Months. - In Confidence - Page 3 of 19

4 Schedule 2: Appendix 14 Data Redacted Version #6 Media from mobile patrol units #7 Evidential Record Deletion Log #8 ER audit trail #9 NRS status log #10 SR Session Log 7 days This information shall be retained as part of the ER and should be deleted seven (7) days from successful load of disk. 4 weeks This information shall be retained for four (4) weeks from the creation of the log entry. -- Once ER becomes Contravention Candidate any modification or activity shall be audited. (i.e. if record is viewed, PCN issued, printed etc.). This information should be retained in line with the Image retention policy (e.g. #4). 2 weeks 13 Months following PCN close 2.2 Core IT System DVLA Green List As per DVLA supply The Green List shall be retained until refreshed by later copy of the reference Data in line with the Data supply from the DVLA. DVLA batch Data (from WEE batch / SFT) 1 Month All DVLA responses shall be recorded against a Penalty Charge once it has been confirmed. However the process of confirmation can take up to one (1) Month depending on the response from the DVLA - In Confidence - Page 4 of 19

5 Schedule 2: Appendix 14 Data Redacted Version Audit log of WEE online access to DVLA Data 24 Months DVLA WEE access shall be retained for a period of twenty four (24) Months for audit purposes in line with DVLA requirements. DVLA test Data Only as long as necessary for Testing purposes DVLA test Data 2.3 Enforcement PCN Data Including specific Vehicle Data, Registered Keeper/Person Liable Data, incoming correspondence and outbound Fulfilment (including but not limited to Representations, Appeals, Statutory Declarations, Enquiries and Complaints, call recordings and PCN payment details relating to individual PCN) Statutory Declarations scanned correspondence image years This Data is required to enable any investigation into the PCN history and retrieval of relevant documents years This Data is required to enable any investigation into the PCN history and retrieval of relevant documents. - In Confidence - Page 5 of 19

6 Schedule 2: Appendix 14 Data Redacted Version Representation & Appeals scanned correspondence image PE Data years This Data is required to enable any investigation into the PCN history and retrieval of relevant documents. Until no longer a PE Once a Registered Keeper/Person Liable no longer meets the criteria of a PE the record should be removed. Only the record that the Registered Keeper/Person Liable was a PE shall be removed at this point the source PCNs will not change and historical Data will not be retained to state that the Registered Keeper/Person Liable was formerly a PE. Enforcement documents Scan failures 33 Months Scanned documents which are deemed unsuccessfully scanned shall be removed from short term storage and retained as per unscanned documents for a period of thirty three (33) Months. Enforcement documents Scanned 3 Months Once document has been scanned the hard copy shall be retained for this period to ensure that the scanned copy is legible. 2.4 Customer Sales & Discounts Customer Data Standard Registered Customer. Customer Data Incomplete and unused Standard Registered Customer 24 Months Customer Data shall be deleted twenty four (24) Months following the end of the validity of the last Charge Payment. Following expiry of retention period, all remaining Customer Data will be deleted. 24 Months Incomplete and unused Customer registrations and Customers with no Charge Payment activity shall be deleted twenty four (24) Months after the initial registration date. - In Confidence - Page 6 of 19

7 Schedule 2: Appendix 14 Data Redacted Version Customer Data Discounted Customer Customer Data Incomplete Discounted Customer 40 Months Registered Discount Customer Data shall be deleted forty (40) Months from the date of award/rejection of the Discount (whether a first time, a renewal or inactive). For Blue Badge Discounts, this shall be forty (40) Months from each annual event which may be a full registration (first time or renewal) or an affirmation (and to be retained whether the Discount is awarded or rejected, the same as the other Discounts). 40 Months Incomplete Customer registrations shall be deleted forty (40) Months after the initial registration date. Customer Data Anonymous Customer Varies Anonymous Customers created when an interaction occurs (Enquiry, anonymous hardcopy Receipt request, Complaint). This Data should be deleted in line with the Data retention period of the associated transaction. Charge Payments 24 Months Charge Payment details shall be deleted twenty four (24) Months following the end of the validity of the Charge Payment. General Customer scanned correspondence 12 Months Scanned images produced from scanning an item of general correspondence (Enquiry or Complaint) shall be deleted twelve (12) Months from the date of resolution. - In Confidence - Page 7 of 19

8 Schedule 2: Appendix 14 Data Redacted Version Scanned copies of Discount application forms & supporting Documentation 40 Months Registered Discount Customer Data shall be deleted forty (40) Months from the date of award/rejection of the Discount (whether a first time, a renewal or inactive). For Blue Badge Discounts, this shall be forty (40) Months from each annual event which may be a full Registration (first time or renewal) or an affirmation (and to be retained whether the Discount is awarded or rejected, the same as the other Discounts). Subject Access Request Data 6 Months SARs shall be deleted six (6) Months following closure of the SAR process or the rejection of a SAR. Decommissioned TAG linked to VRM 12 Months Once a Tag is returned due to it being faulty, the information linking it to the VRM shall be retained for twelve (12) Months, for historical purposes. TAG linked to VRM with no activity 24 Months The link is removed when the Customer has their Account removed. - In Confidence - Page 8 of 19

9 Schedule 2: Appendix 14 Data Redacted Version 2.5 Organisational Data Additions of Vehicles to Organisation lists 60 days VRM additions to the Organisation VRM list shall be deleted sixty (60) days after the VRM has been deleted from the System. Additions of ad-hoc Vehicles to Organisation and all Vehicle usage 60 days Ad-hoc VRM Charge Payment additions to the Organisation VRM list and usage shall be deleted sixty (60) days after the successful payment of the Monthly Account following the adhoc VRM Customer defined end date. Removal of Vehicles from Organisation 60 days Customer deletion requests from the Organisation VRM list shall be deleted sixty (60) days after the successful payment of the Monthly Account. Or 60 days after an Account is forcibly closed by TfL. Organisational financial account Data 6+1 years This detailed Organisational finance Data is required to support financial audit analysis as only summary Data is retained by the finance application. - In Confidence - Page 9 of 19

10 Schedule 2: Appendix 14 Data Redacted Version Organisational Account Data All Data should be retained for 13 Months following payment / write- off and summary Data be retained indefinitely regardless of closure reason Organisational Data shall be retained for thirteen (13) Months following Account closure where Account closed has not been instigated by TfL (e.g. fraud). - In Confidence - Page 10 of 19

11 Schedule 2: Appendix 14 Data Redacted Version Incomplete Organisational Account Data All Data should be retained for 13 Months following payment / write-off and summary Data be retained indefinitely regardless of closure reason Organisations who fail to complete Registration shall be removed thirteen (13) Months after the initial date of application. - In Confidence - Page 11 of 19

12 Schedule 2: Appendix 14 Data Redacted Version Fraudulent activity on TfL closed Accounts All Data should be retained for 13 Months following payment / write-off and summary Data be retained indefinitely regardless of closure reason Accounts which are forcibly closed by TfL due to fraudulent activity shall be retained indefinitely. Summary information only Organisation operator name and a summary of the closing position. Note: this is actual fraudulent activity, and not just suspected. The contact details retained for this purpose shall be those of the Organisation not the individual employees. TfL also requires retention of the name and job title (but not contact details) of the person who was the applicable Relationship Manager at the time the Organisation Account was closed, as a point of reference. - In Confidence - Page 12 of 19

13 Schedule 2: Appendix 14 Data Redacted Version Outstanding debt on closed Accounts All Data should be retained for 13 Months following payment / write-off and summary Data to be retained indefinitely regardless of closure reason All Data, including financial and VRM usage should be retained thirteen (13) Months following payment or TfL write-off. Organisation Fulfilment 13 Months. Organisation Fulfilment shall be retained as long as the Organisation Account is open and active, once closed this Data shall be retained for a further thirteen (13) Months (e.g. Organisation statements, which can be viewed by the Organisation as long as the Account is open). - In Confidence - Page 13 of 19

14 Schedule 2: Appendix 14 Data Redacted Version Correspondence including registration applications 13 Months Organisation correspondence shall be retained as long as the Organisation Account is open and active, once closed this Data should be retained for a further thirteen (13) Months. 2.6 Finance (Accounting) Current individual financial transactions 18 Months from transaction date. This Data will be retained online within the System. A Monthly process shall archive this Data following the eighteen (18) Month period. Archived individual financial transactions years This Data shall be retained off-line on tape to ensure that financial Data is retained for a total of six plus one (6+1) years. Accounts detailed journals years This summary Data shall be retained for six plus one (6+1) years for audit purposes. Chargebacks years This summary Data shall be retained for six plus one (6+1) years for audit purposes. - In Confidence - Page 14 of 19

15 Schedule 2: Appendix 14 Data Redacted Version 2.7 Management Information Detailed MIS Data 24 Months After twenty four (24) Months, the detailed MIS Data will be summarised. The MIS workgroups will define how this will work in practice for each Data category. Summarised MIS Data 6+1 years Data shall be retained for six plu one (6+1) years once transferred to MIS. 2.8 Miscellaneous Fulfilment documents 13 Months Unless otherwise specified Fulfilment documents shall be retained thirteen (13) Months from the date of creation. Fulfilment XML for SPSL 12 Months This shall be retained for twelve (12) Months from the date of creation. Scanned Images 13 Months Unless otherwise specified, scanned document images should be retained for thirteen (13) Months from the scan date. 2.9 System Operations Call Centre call recordings 90 days Contact Centre records - In Confidence - Page 15 of 19

16 Schedule 2: Appendix 14 Data Redacted Version Audit of user password resets 12 Months Audit of User password resets shall be retained for twelve (12) Months from creation. User Audit log Data 12 Months Sign-on and Sign-off, transactions shall be retained for twelve (12) Months from creation. Security Log Data. 12 Months Retained for twelve (12) Months from creation. CCTV recordings of post opening and scanning 6 Months Retained for six (6) Months following recording. Backup Tapes Overwritten at the end of an 8 week cycle Subject Access Request Data 6 Months Following completion of a request. Interface Log Data 24 Months Following event. 3 Physical Records This includes multimedia records ranging from hardcopy documents to System backup tapes. 3.1 Image Changes in Image System components. 5 years This is a hardcopy log of new releases of Hardware, underlying operating Systems or application Software components. - In Confidence - Page 16 of 19

17 Schedule 2: Appendix 14 Data Redacted Version 3.2 Enforcement Enforcement documents - Unscanned 33 Months Enforcement documents Scan failures 33 Months Retained for thirty three (33) Months. Enforcement documents Scanned 3 Months Scanned and retained for three (3) Months. PCN related correspondence Hard copies 30 Working Days Secure and accessible storage required until destruction. Thirty (30) Working Days following receipt as long as successfully scanned. If not successfully scanned within thirty (30) Working Days, then hard copy must be retained until successfully scanned. 3.3 Customer Sales & Discounts Discount application forms and evidence Hard copy Standard Registration forms and evidence Hard copy 30 days Documents shall be retained for a period of thirty (30) days following the scan date. 30 days Documents shall be retained for a period of thirty (30) days following the scan date. - In Confidence - Page 17 of 19

18 Schedule 2: Appendix 14 Data Redacted Version 3.4 Organisation Data Organisation set-up Documentation (e.g. Registration forms etc). Rule driven For the life of the Account until closure completed, and then for a further six (6) Months. For forced closure by TfL fiftenn (15) Months. 3.5 Finance (accounting) Payment related correspondence hard copies 30 days From scan date. Accounts journals years From scan date. 3.6 Management Information None 3.7 Miscellaneous General correspondence hard copy 30 days General correspondence including Enquires and Complaints shall be retained for a thirty (30) days period once the document has been scanned. Data from other agencies 7 days This shall be retained for seven (7) days after being loaded/ applied to the system. - In Confidence - Page 18 of 19

19 Schedule 2: Appendix 14 Data Redacted Version PMA documents N/A of hardcopy PMA documents which are scanned into the system by the Service Provider are the responsibility of TfL and are not governed by this policy. 3.8 System Operations Backup Tapes 8 weeks Overwritten at end of eight (8) week cycle. Retail transaction log 365 days Data relating to this information will not be needed in excess of one hundred and thirty (130) days and any Data which if over one hundred and seventy five (175) days old shall be purged from the System. Blue Badge nominations 175 days Blue Badge nominations shall be retained for one hundred and seventy five (175) days from nomination date. IVR shopping basket 7 days This table holds session information for all interaction over IVR which has been dropped out, and these records are not valid after a day. Super NRS 6 Months The Contravention Data and SNRS statistics shall be stored in separate tables for the SNRS process. - In Confidence - Page 19 of 19